Biography

Dale Hoffman has over 30 year’s extensive experience in Fixed Income Capital Markets and has held senior positions in trading and management for virtually all fixed income products.

Mr. Hoffman was Managing Director and Head of Taxable Fixed Income Trading for Piper Jaffray and worked closely with risk Management and the compliance department to develop formal risk and compliance policies that were implemented by the firm. Following his retirement, Mr. Hoffman co-founded S+D Sarasota LLC, a consulting practice with assignments at broken dealers on compliance and regulatory issues through a third party. Additionally, he advised clients on price fixing practices for new issue Government Agency Securities.

Earlier in his career, Mr. Hoffman spent 12 years as a Senior VP for Legg Mason Wood Walker Inc. He supervised a team of 25 traders and worked closely with compliance to develop policy guidelines for all Fixed Income products, which included mark-up guidelines, concentration limits and a formal aging policy. Mr. Hoffman left Legg Mason to serve as Senior VP in the Structured Group for BB&T Capital Markets and later was employed by Morgan Joseph and Company where he was Managing Director in the Structured Products Group. During this time, he traded CDOs, CLOs, MBs, CMBs, and TRUPs. From 2010 to 2015 Mr. Hoffman was Managing Director and Co-Head of Fixed Income Currency and Commodities for BMO Capital Markets, US, where he collaborated with risk management to develop value-at risk models to comply with the Volcker Rule.

Mr. Hoffman is a graduate of SUNY Binghamton and received his MBA from St. John’s University. He has served on the MSRB Professional Qualifications Advisory Committee (PQAC) and is a former member of the United Way Tocqueville Society.